Full text of PINNACLE INVESTMENTS, LLC (SUCCESSOR)'s X-17A-5 filed 2022-02-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ SYRACUSE, NEW YORK STATEMENT OF FINANCIAL CONDITION DECEMBER 31, 2021 {1}------------------------------------------------ # TABLE OF CONTENTS #### Page No. | ANNUAL AUDITED REPORT FORM X-17A-5 PART III (Facing Page) | 1 | |-----------------------------------------------------------|---| | OATH OR AFFIRMATION | 2 | | REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | 3 | | FINANCIAL STATEMENTS | | | Statement of Financial Condition | 4 | | Notes to Statement of Financial Condition | 5 | {2}------------------------------------------------ | | UNITED STATES | | OMB APPROVAL | |-----------------------------------------------------------------------------------------------------------|------------------------------------------------------------|---------------------------------------|--------------------------------------------| | | SECURITIES AND EXCHANGE COMMISSION | | OMB Number : 3235-0123 | | | Washington, D.C. 20549 | | Expires: October 31, 2023 | | | | | Estimated average burden | | | ANNUAL REPORTS | | hours per response: 12 | | | FORM X-17A-5 | | | | | PART III | | SEC FILE NUMBER | | PUBLIC | | | 8- 67515 | | | FACING PAGE | | | | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | | REPORT FOR THE PERIOD BEGINNING 01/01/21 | | AND ENDING 12/31/21 | | | | MM/DD/YY | MM/DD/YY | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | NAME OF FIRM: | PINNACLE INVESTMENTS, LLC | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | | | Broker-dealer<br>Security-based swap dealer<br>□ | □ | Major security-based swap participant | | | Check here if respondent is also OTC derivatives dealer | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | | 5845 WIDEWATERS PKWY SUITE 300 | | | | | (No. and Street) | | | | E. SYRACUSE | NEW YORK | 13057 | | | (City) | (State) | (Zip Code) | | | | | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | BENJAMIN R. QUILTY, CEO | (315) 251-1101 | | Bquilty@Pinnacle-LLC.com | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | | | | | DANNIBLE & MCKEE, LLP | | | | | (Name - if individual, state last, first, and middle name) | | | | 221 SOUTH WARREN STREET | SYR…Read the full text as markdown